EDMS Workshop - Lower Hudson Regional Information Center
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Transcript EDMS Workshop - Lower Hudson Regional Information Center
Using an ECM System to Manage
Electronic Records
New York State Archives
www.archives.nysed.gov
Today’s Objectives
Introduction to ECM
How an ECMS works
Standards for ECM
Plan for implementation
Defining an ECM System
An enormous database
Central platform for managing content
Manages records in many formats
Uses common standards and rules
ECMS versus EDMS
ECMS
Manages all kinds of content
Made up of modules
Reflects change in business practices
EDMS
Manages electronic documents
Can have additional applications
Content
Completed form
Letter to a customer
Digital image of a birth certificate
E-mail message
Voicemail message
Web page
Video clip of a speech
Benefits of an ECMS
Improve workflow
Speed up retrieval and distribution
Enhance security
Eliminate document loss
Institute version control
Provide for disaster recovery
What is Needed?
ECM software
Networked PCs
Server
Scanner
Web-based ECM
Very popular
Access via Internet or intranet
No need to learn new interface
No need to maintain additional software
Increased browser-based functionality
ECMS Functions
Capture
Manage
Store
Deliver
Dispose
Manage E-Mail
Capture
Scanning
From paper
From microfilm
Electronic records
Computer-generated reports
ERM (Enterprise Report Management)
E-Forms
Online data capture and processing
Document Capture in ECMS
Manage
Index
Create metadata
Monitor and control
Revise
Workflow
Index
Keep index manageable
Reduce manual keying time and errors
Use existing electronic indexes
Bar-coding
OCR/ICR
Metadata in an ECMS
File name
Unique document number
Security level
File description
File date
Retention and description
Monitor and Control
Work status
Audit trails
Alarms
Automated work balancing
Audit Trails
Revise
Version control
Identifies final drafts
Maintains earlier drafts
Document annotation
“Sticky notes”
Workflow
Routes to a queue
Sorts a queue
Holds item in a queue
Retrieves items from a queue
Defines actions before forwarding
Defines timeframes for receipt
Defines action if doc not received
Processes set of docs as a unit
Workflow in Everyday Life
Packages received by UPS are bar coded
Workers access package status info
Barcode is scanned at receipt
As package moves through various hubs
Then provide to customers
Direct package at each hub
Track packages by
Account number
Tracking ID
Date
Zip code
Store
Follows and maintains index
Saves files to server
Saves backups to offline storage
Types of Storage Media
Magnetic
Hard drive
Tapes (backup only)
Optical
CD-R (Compact Disc-Recordable)
CD-RW (Compact Disc-Rewritable)
DVD (Digital Versatile Disc)
Deliver
Search by hierarchical structure
Across libraries or repositories
By profiles
Document or file profiles
Folder profiles
Index / keywords
Full-text
Search Window in an ECMS
Secure
Provide access controls at levels
Repository
Folder
Document
Page
Redact documents
Audit Trails
Web access
Destroy
Records Management Application (RMA)
Includes retention schedule
Links retention periods to records
Automates disposition
Standard developed by Defense Dept
DoD 5015.2-STD
Why You Need an RMA
RM is not a priority for users
Retention not applied to ER
Provides automated retention solution
Email Management
Problems with an ECMS
Expensive
Strong IT support
Significant training
Large cultural change
Process changes
Business Process Analysis
Analyze current processes
Develop revised processes
Assess solutions
Integrate with ECMS
Estimate costs
Process Analysis
How records are received
What occurs to records after receipt
How are records used
How many people use records
What happens to records during process
Where are records stored
Evaluating Products
Product maturity
Adherence to standards
Ability to meet business needs
Availability of tech support
Cost
Implementation Step 1: RFP
Form Project Team
RFP
Development
Issuance
Evaluation of bids
Award (signed contract)
Implementation Step 2:
File Plan and Classification
Analyze records
Develop file plan
Controlled vocabulary, directory structure
Develop classification system
Arrangement and attributes of records
Implementation Step 3:
Application Design & Development
Prioritize needs
Application development
Application testing
User acceptance testing
Implementation Step 4: Training
Train users to use the file plan
Train users how to use the ECMS
Implement ECMS file by file
User practice
Manage cultural change
Implementation Final Steps
Hardware delivery and testing
System testing
System is live
Expand system capability and user group
Continue adding records
Backfile Conversion
Determine need to convert backfile
Three approaches
Full backfile
Partial backfile
As-needed
Address in BPA
Indicate in RFP
Ensuring Successful
Implementation
Choose products that meet your needs
Understand and test software
Identify improvements
Demonstrate benefits
Identify key users early
Case Study
Madison County Dept of Social Services
Did a needs assessment
Created workflow charts for every process
Critically examined each activity
Formed an index with multiple search criteria
19 different document types
Day forward conversion
Will include electronic forms and RMA
Will expand to other offices in the County
Don’t Blame the Machine
Documents not always filed to repository
Inconsistent filing
Poor RM practices transferred to ECMS
ECMS Does NOT
Preserve information
Ensure accuracy of record content
Migrate electronic data
Preservation Options
Migration
Standard formats
Refreshing storage media
Advantages for You
Controls growth of records
Can help ensure regulatory compliance
Supports litigation
Safeguards vital information
Manages electronic archives
Advantages for Everyone
Reduces operating costs
Improves
efficiency and productivity
decision making
customer service
Fosters professional business management
Last Words of Advice…
Internal support
Analysis
Request for proposal
State contracts for
Integrators, hardware and software
Grant support from State Archives
Thank you for coming
Final Questions?
Please fill out Evaluation Form